Internal Audit Checklists

Audit Findings

Clause Questi
Audit Question (Score ‘1’ per box)
No. on No.

Compli

Minor

Major
N/C

N/C
OFI
ant
Has the organization established,
documented, implemented and
maintained and continually improved
a 1 0%
Human resource management —
Workforce planning in accordance with
the ISO 30409 requirements?
Has the organization determined defined
and documented the scope of its Human
a 2 100%
resource management — Workforce
planning?
Has the organization established an
a 3 100%
appropriate workforce planning policy?
Has the organization established a
structure and program(s) to implement
a 4 100%
the policy and achieve objectives and
meet targets?
Has the organization facilitated planning,
control, monitoring preventive and
corrective actions, auditing and review
a 5 90%
activities to ensure both that the policy is
complied with and that the Workforce
Planning remains appropriate?
a 6 Is the policy implemented? 100%
Is a member of top management
a 7 appointed to ensure that the workforce 100%
management system is implemented?

Are workforce planning reports

a 8 presented to top management for review 100%
and as a basis of improvement?

Do those with management

responsibility demonstrate their
a 9 100%
commitment to continual improvement of
the workforce planning?
 Are competence requirements are
a 10 100%
defined?
Are stakeholders are aware of the
a 11 importance of the requirements of 100%
workforce planning?
Are employees are aware of their roles
and responsibilities in achieving
a 12 95%
conformance to the workforce planning
system?
Is there a procedure for document
a 13 100%
control established?
Are documents are periodically
a 14 reviewed, revised as necessary and 100%
approved by authorized personnel?
Do documented procedures exist where
a 15 their absence could lead to deviations 100%
from the policy and the objectives?
Are operating criteria stipulated in the
a 16 100%
procedures?
Does the procedure include
documenting information to monitor
a 17 performance, applicable operational 83%
controls and conformity with the Human
resources objectives and targets?
Does the organization retain associated
a 18 100%
records?
Are audit programmes and procedures
a 19 for periodic system audits are 75%
established?
Do internal audits determine whether or
not the workforce planning system
a 20 conforms to planned arrangements 0%
including the requirements of ISO
30409?
Do internal audits determine whether or
not the workforce planning system is
a 21 properly implemented, maintained and 100%
effective in meeting the organization
policy and objectives?
Do audit procedures cover the scope,
frequency, methodologies,
a 22 100%
competencies and responsibilities and
requirements for conducting audits?
Is the competence, experience, training
a 23 and independence of internal auditors 30%
determined?
 Is the effectiveness of audit findings
a 24 100%
including reports and records?
Does top management follow-up on the
a 25 timeliness and effectiveness of the 100%
corrective actions?
Do internal audits provide information to
a 26 5%
management?
Has top management reviewed the
organization’s HR workforce planning at
a 27 planned intervals, to ensure its 100%
continuing suitability, adequacy, and
effectiveness?
Have top management reviews included
assessing opportunities for improvement
a 28 and the need for changes to the 100%
management system, including the
policy, objectives and targets?
Have records of the management
a 29 100%
reviews been retained?
Does input to management reviews
a 30 include communication(s) from external 30%
interested parties, including complaints?
Does input to management reviews
a 31 include the extent to which objectives 100%
and targets have been met?
Does input to management reviews
a 32 include recommendations for 100%
improvement?
Do the outputs from management
reviews include any decisions and
actions related to possible changes to
a 33 the policy, objectives, targets and other 70%
elements of the management system,
consistent with the commitment to
continual improvement?
Has the organization determined how it
4 34 100%
will fulfil these requirements?
Has the organization identified priorities
4 35 and set appropriate Workforce Planning 100%
objectives and targets?

Is the organization capable of adapting

4 36 100%
to changes in circumstances?
 Does the organization has identification
of stakeholders for their workforce
planning which may include employers,
4 37 90%
leaders, the workforce, governments,
labour unions, potential talent and
academic institutions?

What methodology are available (such

as computer-based data integration and
management pro-cessing system) to
identify and report on available demand
4 38 100%
and supply data and associated
information gaps (quanti-tative and
qualitative) on the segmented
workforce?
Is the Human Resource policy
5 39 documented and authorized by top 100%
management?
Is the policy is appropriate to the nature
5 40 and the scale of the organization’s 100%
Business?
Does the HR policy include a
5 41 100%
commitment to continual improvement?
Who is responsible for Workforce
5 42 planning in the organization from the 100%
senior management?
Does the policy include a commitment to
comply with applicable legislation and
6 43 75%
other requirements to which the
organization subscribes?

Is the policy effectively communicated in

6 44 the organization and relevant employees 100%
are aware of their obligations?
Is the policy made available to all
6 45 100%
interested parties?
Is the policy periodically reviewed for
6 46 100%
suitability?
Is a procedure for the identification of
human resource requirements
6 47 85%
established and is the methodology
defined?
Does the methodology provide for the
classification of strategic workforce
6 48 80%
planning and operational workforce
planning?
 Are responsibilities, means and
6 49 timeframe for achieving objectives are 77%
documented?
Are workforce management plans are
6 50 amended to address changing 100%
circumstances?
Are roles, responsibilities and authorities
6 51 100%
are defined and documented?
Are training needs are identified and
6 52 trainings are provided to satisfy 90%
competence needs?
6 53 Are training records are maintained? 5%
Is Workforce planning aligned and
6 54 consistent with its organizational 100%
strategies and governance?
Who is appointed as an experienced
workforce planner to facilitate workforce
information such as head count,
turnover, retirement,
6 55 100%
replacement/redeployment, diversity and
inclusion issues, outsourcing issues are
explored more comprehensively as per
framework?
Is there any document which can
demonstrate the link between workforce
6 56
analytics (data) and the organizational
strategy?
.What is the process being conducted to
collect and manage information about
6 57 100%
particular positions or types of roles in
the organization?
Workforce Planning Reports including
but not limited to following cohorts are
6 58 80%
required, evidence based data to be
provided
6 59 1-funded positions; 80%
6 60 2- funded vacancies; 75%
6 61 3- vacancy wait (time to fill positions); 100%
4-workforce internal relocation (e.g.
6 62 secondees, transfers within the 100%
organization);
6 63 5- exits by type/reason; 100%
6 64 6- entries by type/reason; 100%
6 65 7- mobility (trends and net mobility); 100%
 8-diversity characteristics, such as age,
gender, cultural, linguistic, physical and
6 66 mental difference and other diversity 80%
characteristics relevant to the
organization;
6 67 9- qualification; 100%
6 68 10- skills and competencies; 100%
6 69 11- experiences/exposure; 100%
12-working life stage (new entry, early,
6 70 100%
mid, end career workers);
Are all of these outputs and services
6 71 100%
delivered on time and within budget?
If not, is this because of lack of specific
capabilities? What are these
6 72 0%
capabilities? What is the funded full-time
equivalent? Is it sufficient?
Will the current jobs require significant
change in the coming future such as
6 73 skills, knowledge and/or technology 100%
capabilities, in order to preserve
competency?
What is the rationale for the additional
6 74 100%
workforce requirements?
What workforce segmentation system is
being used (structural, geographic, job
6 75 100%
family or systematic) for workforce
planning?
Is clearly defined & communicated
6 76 100%
organizational vision?
Is clearly defined & communicated
6 77 100%
organizational mission?
Is organization have defined and
6 78 100%
communicated its values?
Do training procedures take into account
7 79 differing levels of responsibility, ability, 80%
literacy and risk?
Has the organization established and
implemented a procedure to regularly
7 80 monitor and measure the key 100%
characteristics of its operations that
have a significant risk?
Is the audit programme is based on the
7 81 results of risk assessment and previous 70%
audits?
What are the ways being used to identify
potential organizational risks to exposure
7 82 100%
from absence or inadequacy of a
workforce plan?
 Are workforce management plans are
8 83 reviewed at regular and planned 100%
intervals?
Evidences are required on following
8 84 100%
measurements,
a) Did the workforce planning enable or
8 85 contribute to the organization’s capacity 100%
to compete for the required workforce?

8 86 b) Was the critical workforce retained? 100%

c) Did turnover change for the better as
8 87 a result of the workforce planning 20%
policies and practices?
d) Is workforce planning embedded into
8 88 100%
the business planning processes?
e) Was the required workforce attracted
8 89 to address and ameliorate the identified 100%
supply gaps?
f) Is the executive and leadership
8 90 competent in workforce planning 100%
methods and reporting?
g) Does the organization have the
required knowledge, tools and systems
8 91 100%
to further evolve the workforce planning
capabilities?
What is the mechanism for monitoring
8 92 and measuring workforce planning 100%
outcomes?
How many positions retained in the
8 93 100%
organization?
How many successors are developed in
8 94 100%
the organization?
8 95 What are the retention policy in place? 90%
How much turnover has been reduced
8 96 30%
since interventions?
Did the root cause of high turnover
8 97 100%
identified?
Is there any Training of seniors on
8 98 75%
workforce planning tools?
Did Organization have the required
8 99 knowledge, tools and systems to further 100%
evolve the workforce planning capabilities?
Is there organizational strategic
8 100 100%
business plan available?